19-03738(4).pdf
other -Notice of Appeal
2018058614401 David Michael Brendza CRD No. 1703163 AWC gg (2023-1673655609622).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2018058614401
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: David Michael Brendza (Respondent)
General Securities Representative
CRD No. 1703163
Pursuant to FINRA Rule 9216, Respondent David Michael Brendza submits this Letter of ·
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
2022075516101 Michael Samuel Hakim CRD 5780296 AWC va (2023-1673655609918).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022075516101
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Michael Samuel Hakim (Respondent)
Former General Securities Representative
CRD No. 5780296
Pursuant to FINRA Rule 9216, Respondent Michael Samuel Hakim submits this Letter of
Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the
alleged rule violations described below.
Regulatory Notice 22-30
Summary
In support of the Securities and Exchange Commission’s re-proposal to amend Rule 15b9-1 under the Securities Exchange Act of 1934,1 FINRA is issuing this Notice to re-open the comment period for Regulatory Notice 15-13. Rule 15b9-1 currently provides proprietary trading firms with an exemption from membership in a national securities association.